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Hari Chandra Polavarapu

CRD# 2052540·Registered 1990 - 2012
Previously Registered: Being a previously registered professional could mean that Hari is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Hari Chandra Polavarapu, who also goes by Hari Chandra, Hari C Polavarapu, was a registered financial advisor. Hari was a previously registered financial professional and started their career in finance 1990 - 2012. Hari had worked at 4 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Hari Chandra, Hari C Polavarapu

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

AURIGA USA, LLC·CRD# 121731
BD
New York, NY
June 27, 2011 - June 7, 2012
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
February 15, 2002 - January 26, 2011
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
February 13, 1995 - April 20, 2000
SOUTH RICHMOND SECURITIES, INC.·CRD# 14913
BD
August 3, 1990 - November 19, 1990

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Current Firm

AU
AURIGA USA, LLC

AURIGA USA, INC. | GARDEN CITY CAPITAL, INC. | AURIGA USA, LLC

CRD#: 121731 / SEC#: 8-65441
BD
Terminated by SEC on 02/24/2019

Contact Information

Established

New York since 12/23/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
AURIGA INTERNATIONAL LLCMEMBER—
ADAMS, JASONCO-PRESIDENT, HEAD OF TRADING2690575
HENDRICKSON, GEORGE ALEXANDER BROWNCO-PRESIDENT, HEAD OF SALES2382347
HURD, JONATHAN SCOTTCCO4159864
ZORRILLA, JOSHUA MELIDOFINOP5514531

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1995About the Series 63 exam

Series 87 — Research Analyst Exam - Part II Regulations Module

Passed Jan 2005About the Series 87 exam

Series 86 — Research Analyst Exam - Part I Analysis Module

Passed Jan 2005About the Series 86 exam

Series 7 — General Securities Representative Examination

Passed Feb 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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